Electronic Records and Imaging

Problems, complexities and options

General - terms• Born Digital = created in an

electronic environment– i.e. emails, word.docx

• Digitized = created in a non-electronic environment and converted to an electronic means– i.e. scan of a signed form

• Digital Object = any electronic file, regardless if it is an official record.– Example: draft of a speech, some

logos

• Electronic Record = a digital object that is an official record based on a retention schedule.

Electronic Records Management

Justification

• A record is a record regardless of format– Public Records act does

not specify formats– Legal considerations

• Public Records Act• Uniform Electronic

Transactions Act• FOIA• Litigation discovery

• When to start?– Immediately

Policy Development

• Essential starting point• Controlled access to

official records• Restrictions to editing• Naming conventions• Audit trails• Metadata to retain

about the record• Documenting the system

EDRMS/ERMS

• EDRMS: Electronic Document Records Management System

• ERMS: Electronic Records Management System

• Not the same as a CMS (Content Management System)

• Example 1, Example 2

EDRMS/ERMS

• EDRMS guidelines: Trustworthy Information System (TIS) guidelines– Guidelines available at the

Archives website– Helps inform policy decisions– TIS does not condone a

specific provider/product– Provides a checklist to guide

decision-making process

Example TIS Criteria• Internal/external security

options• Ability to document how

the system works• User identification• Audit trails for each record

Other EDRMS standards• Interpares Project

– International project regarding preservation of electronic records

• ISO 15489– International Standards

Organization guide to proper records management and record-keeping systems

• DoD 5015.2– Dept of Defense guidelines for

system functionality– Many systems compliant with

these standards

• http://www.interpares.org/

• http://www.iso.org/iso/home.html

EDRMS – to consider

• Exportability– Can you get a copy of

the record from the system for transfer to other agencies/people?

– Example: can you send an electronic copy of the record to the archives with all the required metadata?

• Exit strategy– When the system is

outdated or no longer used, how will you get all of the data out?

– Built into contract?

Metadata

<metadata>Don’t PANIC</metadata>

Defined

• Metadata is…– Descriptive information

use to keep track of and understand a record or digital object.

– Includes analog records• Example: paper

filing system– Often embedded in the

digital object during creation

Embedded metadata

What is XML?• XML is…

– A way to show metadata using <p>tags</p>

• Example from Archives<eadid countrycode="US" mainagencycode="US-654321“ url="654">S00001</eadid>

<filedesc><titlestmt>

<titleproper>House of Representatives. Medical, Military, Public and Municipal Affairs Committee.<num>S165230</num>

</titleproper><author>Brian Thomas</author><sponsor>SCDAH</sponsor>

</titlestmt><editionstmt><p>1st</p></editionstmt><publicationstmt>

<publisher>South Carolina Department of Archives and History</publisher></publicationstmt><seriesstmt><p>1st</p></seriesstmt></filedesc>

Metadata standardization

<titlestmt><titleproper></titleproper><author></author><sponsor></sponsor>

</titlestmt><titlestmt>

<titleproper></titleproper><author></author>

</titlestmt>

• Why comply?– Interoperability with

other systems– Usability for the

public

TIS guideline

• TIS metadata recommendation:– Agent/Agency– Rights Management– Title– Subject– Dates

– Level of Control– Identifier– History (management)– History (format)– Location

For Consideration

What is the record?

• There can be only one…official record– The rest are

use/convenience copies

• Need to identify who owns official record

• Records are not tied to a specific medium

• Need to create a strong definition of what is or isn’t a record in your agency

Digital Preservation

• Agency responsible to preserve electronic records

• Need to ensure accessibility over time• Migration to newer formats• Determine essential record characteristics– i.e. is it a picture or a document?

• HIGHLY RECOMMENDED: metadata about electronic records system and format.

Example problem with unknown formats

• PDF opened in PDF viewer

PDF in Notepadtrailer<</Size 85/Prev 85334/Root 60 0 R/Info 58 0

R/ID[<AEE3F1B4D7EE11DBA8290014510BB034><B0662112D7EE11DBA8290014510BB034>]>>startxref0%%EOF 84 0 obj<</Length 278/Filter/FlateDecode/I 732/S 667>>streamxÚb```b``žÄÀÊÀÀÈÀÏ€ ü@1VŽhଃO€äG‡ÕŽ©L{™ðH0,Hh¸wÀ¦!‰Í‡}‡Ðî †™û+ŠXNLI–8f؃ ã–Ñð˜rÝðÃœ§\–íìoy¬$rœKHÕôLº¤À2‹€� � � � �

‰šë’Zœh5<ÔÒé[,ÏyÌE³ODÅ+{Æ?#EŸ‚…JÁ1ÇNäJnåšõÌN¸§c(c³ŽÍ––ÑÑ b¤¥’R‡b%^®Œf‰ÌÜØ3*ÌhÝ°•ù†Î¿îG½ù*óÕ}›¯˜*@4Z10z;iF ^` ŸWØ0endstreamendobj60 0 obj<</ViewerPreferences<</Direction/L2R>>/Metadata 57 0 R/Pages 51 0 R/Type/Catalog>>endobj61 0 obj<</CropBox[0.0 0.0 792.0 612.0]/Parent 52 0 R/Contents 72 0 R/Rotate 0/BleedBox[0.0 0.0 792.0 612.0]/ArtBox[0.0 0.0 792.0

612.0]/MediaBox[0.0 0.0 792.0 612.0]/TrimBox[0.0 0.0 792.0 612.0]/Resources<</ColorSpace<</CS0 65 0 R>>/Font<</T1_0 62 0 R/T1_1 63 0 R/T1_2 64 0 R/T1_3 73 0 R>>/ProcSet[/PDF/Text]/ExtGState<</GS0 71 0 R/GS1 76 0 R>>>>/Type/Page>>

endobj62 0 obj<</Subtype/Type1/FontDescriptor 66 0 R/LastChar 151/Widths[537 296 0 0 0 0 0 0 0 370 370 0 0 296 352 296 444 500 500 500

500 500 500 500 500 500 500 296 0 0 0 0 426 0 556 556 463 556 463 426 537 611 370 0 0 444 667 574 0 500 0 519 463 444 593 500 704 0 481

Another example• JPEG using a image viewer

JPEG in NotepadÿÀ ð@" ÿÄ¢ } !1AQa"q2‘¡#B±ÁRÑð$3br‚� %&'()*456789:CDEFGHIJSTUVWXYZcdefghijstuvwxyzƒ„…†‡ˆ‰Š’“”•–—˜™š¢£¤¥¦§¨©ª²³´µ¶·¸¹ºÂÃÄÅÆÇÈÉÊÒÓÔÕÖ×ØÙÚáâãäåæçèéêñòóôõö÷øùú w !1AQaq"2B‘¡±Á� #3RðbrÑ$4á%ñ&'()*56789:CDEFGHIJSTUVWXYZcdefghijstuvwxyz‚ƒ„…†‡ˆ‰Š’“”•–—˜™š¢£¤¥¦§¨©ª²³´µ¶·¸¹ºÂÃÄÅÆÇÈÉÊÒÓÔÕÖ×ØÙÚâãäåæçèéêòóôõö÷øùúÿÚ ? Î08©N#RÇ€9Í�Ò¹?ˆþ%_è‚AÅÈ1ÆI÷«v9 ø±â“âÎLÛ[æ$ÁàúŸÏùW/üz«ŽÏ“Sëq}ŸLŽFÏ7¬Ç©Àâj ¹3iNqÏ5§2I4k}¡ûü{Õ¼àg@´›Çx.U[7 ÿ � �@¯¤Söžñ/ycüV¿+¼7©=”’FŽÈeR¡•°AÁÁ¯~ø7ãIn¼?-µÅÔ×2Á!Ä“È]Šžq“éÍLï{ŠÝO·öñ/ü*Ì´÷ˆ2cü«æ8¼A‘÷¿Z5þG?ZÎì,}?� � �íC®ó,Gð«pþÔÚ°ûÐFkåÔ׸ûõ*k½÷Qp>«‹ö¨½~Ò3ô5~ßö©n<Ë?C_%{ЃO]{OZ.3ì?j{C2Ä¡«ðþÔ:C}ûW_ƾ2þÝÀëø枺èÇÞ®;³í˜i_?ÞI¯EûCøeÇÍ#¯ÔWÃK®ÿ µOðn§tgÝðüxð¬ vW>� � �¢®Ãñ›Â³tÔQ~µð(×ûn§¯ˆqügó¢è.ÏÐ(¾*xf_»©ÅùÕȾ hcn§ýô+óÏþ1ûÓøxžUé;ƒþñ£@»?D£ñn/ÝÔ ?� �ð1VS]Óäû·Ÿø¯Î„ñuÔvêAÿ 5<^;Ô#ÆËé†?Û4h>f~‹.¡lÿ vxÏüT‚â&é"ŸÆ¿<bø™¬Ã÷u9‡§ÏW#øÅâ@ÛªÍÿ }Q s3ô:žŒ?:\� � �Zø'ƒîêŽ~µzÚ?ÅPŽ5 ßï-7‘÷Uñ4µŠ¡ë</Ž¹Zуö¶ñXß�´Ÿ›Èû"Šù&ßöÂÕ×f›nþ¸r+FßöÊœæèˆÝ›ÿ Eƒ˜ú–ŠùªÛ.ÏÍÐäîÌ+BÛ#@?ë´‹´ÿ u”ÿ Z,ÈúŠð˜l¾<ËKøÿ à _‡ö³ð,Ÿ~[¸¿Þ‚‹™É-� � � �¼SI8ôe¹ßxc@ŸD½›QŠ[X¡ye¸?(‰TXöÀÆâbý©~È2u9Sýèü+çOÛ7ö¶Ò5¯ƒü#w$³jG:„ûJl€Ë1þñëìïM!6‘þ&x’ÏÄÞ7Ô¯4èR� � � �<ÌËn@N€îzã¶qÚ±-äÏ' ¬UŸ'Þ ÛÜcÓvZΖÖLâ´clZç ®A V½´£Ë=9¬dEC'jç õ¯ñŽ'ÄMma§¾ÅÚ¡¼Çïùt¯Gñ¦®Ú^ŽëâcåÇ“ŒÞ¡ð†íâh-� � � �nc7Ñ´ŽÊøÿ z·ò4V 0ç–Æ‹œ¬+Õ>Á©Ûˆ›Q’<Hd,"’ õöªü³±-Ÿ\Ÿ;Uâ œú� � � � �ÕôKü=·•ØÅ{$jOP~µ“yð/OÔµ[}NiÒ[È »¡ùpr8Ž¾ÕÇ~éÍø{‹¡áöß•öÖ ÿ Ƕz÷«¾ð'ÁŸì)'ž-|β€<¶µÛ·ð:ôؾÞ?ßÀ~ªEli?u;6?éV®§°,?¥t,]}¢)ö9ü*Ž5?öÌÿ J<p:_Â~ªÂ½þ}Pµ £ãúS_ÁzʨÛ9–Uþ¦¯ÛÐiìçØáG„o¥å¹ÿ ¾¿Â”xVüt¹·?ð&ÿ ìŸÂÚêùÈÿ � � �îºëU&ѵÈzè÷dîÇŸåUí)t’ûÅÉ.Ç/ÿ Ö¢£ýe¹ú9ÿ OøGµEíúJ+naªAúUê½éT&Õî`ûöòGþú‘T¥³Ÿb‰ÐõU?êTý%_ñ¦+UQÿ Çðu?� � �Ö§oIè1Hºë²õéUd"¿ØuUÇúÇè3M6úšËÇýûjŠóÄW1¾ð*«xžðŽ&#éG(\¸Í|œµ Âýcoð¨šúá>ôr/ÕH¦/‰/|¾.Zˆø¯R^—N(åAroíY\� �ŠoöÃæ¡>,Ô

Databases• Is the database or the output

of information from the database the official record?

• Does the database contain information that is not included in the retention schedule?

• Does the database have everything?

• If the database is the official record, can you recreate the output files without the current management system?

Does This Have All Of

The Official Record ?

Security

• How much access and to whom?

• Physical security• Disaster recovery and

security copies

Imaging

Vs.

Imaging

• What is imaging?• The SCDAH defines as: the conversion of paper

records to another format. • Usually– Microforms– Electronic/digitized

Microforms

• Microfilm– Like Film Reels

• Microfiche/microcards– Index card size

Microform

Pro• Slim storage• Security deposit for

permanent records at the Archives

• Physical medium with long lifespan

• Can convert digital records to microforms

Con• Cost – need to select a

vendor• Need a reader specific to

type. Maintain machine• Controlled environment• Loss of information

Digitized records - costs

• Up front costs– Scanning equipment– Storage environment– Software

• Long-term costs– Migration of records– Obsolescence – Proprietary issues– Continued maintenance

Digitized records

Pro• Integration into existing

electronic records systems• Easy Access

Con• Continual Monitoring for

usability• Obsolesense • Longevity of medium• Currently, no deposit with

the Archives– But…

SCERASouth Carolina Electronic Records Archive

• What is it?– Repository for Electronic

Records– For permanent records

that will be transferred to the State Archives

• What it isn’t– Not for records that are

scheduled for destruction

– Not for draft copies– Not for active or evolving

electronic records

SCERA-Services

• Storage of Permanent electronic records• Technology monitoring for electronic formats• Migration to newer formats when necessary• Remote access point for permanent records

Other Service Providers

• Services available for current electronic records– Not specified by records management division– Division of State Information Technology

• (part of the Budget and Control Board)• For remote back-up and storage of electronic records

– Other vendors available for cloud and remote storage

Questions?